Our client, a leading global investment bank seeks an operational risk auditor.  As the lead within the global operational risk team, the successful candidate will report to the Global Head of Risk Audit.  This role would suit someone with extensive experience in operational risk and a strong technical expertise as the lead within a collegiate global operational risk audit team.

Key responsibilities:

• A key point of contact for operational  risk for technical expertise and continuous monitoring programme.
• Having a current, thorough knowledge of regulatory requirements governing operation risk, ideally a global overview of regulatory developments.
• Contributing to controls and frameworks supporting operational risk management, embedding pivotal elements of Operational risk control framework across business functions including IT audit.
• Identifying training requirements across the internal audit function for operational risk.
• Responsibility for entity risk assessment process for operational risk
• Developing and maintaining excellent relationships with internal audit, stakeholders, senior management and regulators

This role is to support the Internal Audit management team to provide, valued assurance to stakeholders to mitigate key risks.

You must have:

• Mandarin language skills (fluent)
• 1-2 years Banking experience
• 1-2 years Audit experience (either external or internal)
• IIA, ACA, ACCA or equivalent.

Responsibilities:

• Assist the Audit management team in conducting risk assessments and developing the audit plan.
• Take part in the ongoing assessment of the Bank’s control environment.
• Develop areas of specialism such as credit risk or trade related business and produce and manage a programme of ongoing audit work to provide audit assurance.
• On an ad hoc basis execute form and execute audit programmes in accordance with procedures, communicating audit issues and findings to the auditee and developing agreed actions to address the control weaknesses identified.
• Perform periodic follow up on audit report responses

Role Description:

The successful candidates will be part of the Asset Management and Life Assurance Audit team with responsiblities for the management of a (closed book) Life Insurer. This role will give a high level of autonomy and will involve audit execution, day to day management of the audit work, liaison with key client staff and the management of the reporting process. You will report to an Audit Director.

You will also have the opportunity to advise on supporting significant Solvency II projects and helping to develop more junior staff. You will also have the opportunity to audit other areas of the group including Asset Management, Treasury and Reinsurance.
Responsibilities include:

• Managing the Life Assurance Audits and assisting with other financial services audits
• Development and coaching of junior members of staff
• Completion of audits within agreed time-scales
• Budgeting
• Travel to UK offices in Birmingham, Hertfordshire, Milton Keynes and London for 20-30% of your time.

Experience/Qualifications:

• Recently qualified ACAs or ACCA’s from an Audit or Transaction Advisory Services Group. Preference will be given to those with Client Secondment / Audit / Advisory or Internal Audit experience.
• A minimum of 2 years PQE in a financial services (retail or wholesale) environment is essential – ie Life Assurance, General Insurance, Asset Management or Banking.
• Impressive analytical capabilities
• Highly motivated and committed
• Positive and ambitious attitude
• Up to date on current economic and market trends
• Ability to develop strong client relationships
• Highly proficient in written and oral communication
• Able to work independently as well as part of a team

This international investment bank seeks an IT Auditor with solid experience of reviewing front office multi-feed trading systems within a capital markets business for a senior role within the department. You should have strong experience of reviewing trading systems as well as a good understanding of the business process within a global markets environment and knowledge of traded products.

If you are looking for the opportunity for career advancement as well as exposure to a broad diversity of capital markets businesses please do not hesitate to call to arrange a meeting.

This role would suit someone with a background in internal audit in a large organisation with an interest in Treasury. The successful candidate will be accountable for the standards of reports and plans undertaken by the audit team while maintaining on overall view of the internal audit plan. With excellent communication skills and ability to develop, maintain excellent relations with stakeholders, senior management and your audit team, the Vice President of Treasury Audit will be committed to raising standards within their own team and the organisation as a whole.

Essential:

Proven experience and understanding of control, risk and regulatory issues for liquidity and capital risks. With knowledge of funds transfer pricing and rates submission process as well as an understanding of capital supply versus capital demand and RWA calculations.

Experience with stress testing modelling and those models relating to Liquidity and Capital.

Understanding of the correlation between liquidity buffers, hedging activities and related risks. As well as a parallel understanding of regulatory and financial reporting impacts.

Knowledge of BIPRU and US regulatory requisites over liquidity management and reporting.

Proven experience managing and developing relationships with senior management and team members in a large matrix organisation.

With appropriate qualifications and excellent communications skills, you must have proven experience planning and implementing strategic initiatives.

Considerable experience leading and developing teams as well as maintaining excellent relationships with senior management and stakeholders to effect change and meet targets.

Desirable:

Previous experience in a treasury role with international experience.

Working within a function responsible for assuring legal and regulatory obligations for financial services are met, this role involves anticipating, identifying and managing risks across a business. This role would suit someone with a background in compliance audit and comprehensive knowledge of the infrastructure of large investment institutions in financial services.

Reporting directly to the Senior Internal Audit Manager, this role involves advising audit (I had put assessment originally but took it out again) teams of legislative and regulatory frameworks impacting financial services across Eurasia.

Responsibilities

• Using a thorough knowledge of regulatory frameworks and legislation affecting financial services across Europe as the basis for developing and implementing assessment activities including:  process mapping, completing risk assessments, developing audit program and testing procedures
• Providing report content for senior staff and overseeing delivery,  follow up and progression of assessment matters.
• Developing and implementing assessment activities including:  process mapping, completing risk assessments, developing audit program and testing procedures.
• Providing report content for senior staff and overseeing delivery,  follow up and progression of assessment matters.
• Developing excellent working relationships with colleagues to improve function practice, participating in committees as required.
• Mentoring team members and developing own practice through regular meeting with assigned line manager.

 Requirements

Essential

• Educated to degree level or with considerable experience in financial services compliance
• Thorough knowledge of legislation and governing frameworks informing financial services practice across Europe and the Middle East.
• Excellent communication skills and thorough knowledge of industry standard software.
• Willingness to travel

Desirable

• Broad understanding of audit governance
• Multi-lingual

Our client, an international top rated accountancy and advisory firm, is looking for an Information Technology Audit Consultant to join a team working on a wide ranging portfolio of clients, including both commercial clients, and public sector bodies based in either London or Birmingham.

Responsibilities:

• Working with other team members to plan and carry out IT Audits and IT Security assessments.
• Liaising with clients over assignment planning and debriefs.
• Writing up draft reports for senior managers

Requirements:

• A sound IT background, preferably with an IT based degree
• Audit experience is required, with a relevant audit qualification, such as CISA.
• A confident personality, with the ability to work well as a team member, and also the ability to liaise directly with clients to present reports and findings.

Working within an independent function that reports directly to the CEO, this role involves anticipating, identifying and managing risks across the business. This role would suit someone with a background in technology audit and comprehensive knowledge of the infrastructure of large investment institutions in financial services.

Responsibilities:

• Extensive experience in technology audit across different functions
• Using practice to assist in working towards strategic audit objectives/goals in those areas of accountability.
• Building and maintaining good working relationships with colleagues and customers to facilitate the audit function.
• Routinely using critical analysis to inform audit practice and advise customers.
• A thorough knowledge of current theory, practice and advances.

Requirements:

• Degree level or equivalent experience with professional accreditation.
• Works collaboratively with excellent communication skills.
• Using critical analysis to inform practice while retaining a view of the overall aims of the business.
• An ability to distil information and make concise decisions when faced with competing priorities.
• Experience in capital markets, related technologies and associated risks gained in a similar organisation.

This post would suit someone with a background covering a broad range of audit experience within wealth management. As part of the routine duties the role will involve evaluating business divisions to ensure compliance and financial targets are met and strategic and operational objectives.

The role is based within an independent team reporting directly to the Risk Committee and Chairman of the Board. With an exemplary track record in reporting, planning and performing audits, you will leverage these skills across the Wealth Management businesses covering both the UK and Jersey.

Responsibilities

– Assessing and analysing key risks, including: compliance, know-your-client, legal, money-laundering, operational and suitability. Evaluating the effectiveness of the controls addressing the key risks.

– Providing solutions to issues identified that are innovative and practical. Preparing clear reports on findings for senior management at local, functional, group and global levels.

– Monitoring developments within risk profiles

– Providing input for planning sessions.

Skills

– A background in audit with thorough knowledge of regulatory requirements and expectations.

– Sound knowledge of key risks in wealth management; their controls and how best to manage them.

– A fluent English speaker, you will have excellent communication skills and experience in presenting to senior management, providing recommendations and opinions. You will work well in a team in addition to having experience leading audits for specific tasks.